Regulatory Compliance Watch: SEC’s New IA Ad Rule
2022 Regulatory Compliance Watch Webinar | March 22, 2022 | Speakers: Michelle L. Jacko
Six Questions to Ask to Avoid Complacency and Trending Cybersecurity Dangers
In recent months, the increase of high-profile cyber-attacks have not only undermined investor confidence but have also rattled the industry. The U.S. Securities and Exchange Commission (SEC) has responded with a pledge to review and consider significant changes in cybersecurity … Read More
NASAA’s Top Investor Threats in 2022: Exercise C-A-U-T-I-O-N
Fraudsters like to follow the money when it comes to targeting unsuspecting investors. It is why cryptocurrency and digital asset fraud topped the North American Securities Administrators Association’s (NASAA) annual list of investor concerns released January 10, 2022. Annual inflows … Read More
Meeting Current and Future Challenges of Serving Aging Clients
CEO Michelle Jacko’s article, “Meeting Current and Future Challenges of Serving Aging Clients,” was published in the February 2022 issue of Charles Schwab’s Compliance Review newsletter. In the article, Michelle reviews regulations that apply to investment advisors servicing seniors, including … Read More
Converting Critical Enterprise Risks into a Usable Risk Matrix
Successful compliance is built upon a solid foundation of risk management. Effective compliance programs begin with a thorough assessment to identify areas of risk within the organization. Developing a risk management framework is crucial to an organization’s ability to develop … Read More
Episode 93: Advisory Fee Billing
On episode 93 of the CCO Buzz podcast, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss the importance of adequate and accurate Advisory Fee Billing.
IARs Have Two Years to Complete Continuing Education or Risk Securities License Termination
Maryland has joined Mississippi and Vermont on a growing list of state jurisdictions using January 1, 2022, as the effective date for new continuing education (CE) requirements. Within those states, Investment Adviser Representatives (IAR) must annually complete twelve (12) CE … Read More
Senior Investor Protection Steps for Investment Advisers
The fiduciary standard of care required by investment advisers is well established and is a major component of every client relationship. Investment advisers are tasked with the financial health of their clients and safe keeping of nest eggs built over … Read More
Investment Adviser Year-End Compliance Checklist
At the beginning of 2021, the Securities and Exchange Commission (“SEC”) released its exam priorities report for the year.[1] In the release, the SEC stated the following: “The Division will continue to review the compliance programs of RIAs, including whether … Read More
Episode 91: 2021 Year-End Checklist for Investment Advisers
On episode 91 of the CCO Buzz, we are lucky enough to be joined by Director of Consultation Services, Tina Mitchell, to discuss her annual Year-End Compliance Checklist for Investment Advisers.